Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Qualifies Largest Crowdfunding Offering Ever; Offered On StartEngine

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Crowdfunding, Public Companies and Securities The SEC has qualified the Regulation A+ offering of Elio Motors which plans to make small cars costing about $7,000.  Elio plans a maximum offering size of $25 million.  The offering is being made through the facilities of StartEngine, which appears to be a slick new Regulation A+ platform. The minimum purchase is 50 shares […] Read more →

by   |   November 20, 2015


ISS Issues 2016 Policy Updates

Public Companies and Securities ISS has issued the following policy updates for 2016. Overboarding Current ISS policy considers a director “overboarded” if he or she sits on more than six public... Read more →

by   |   November 20, 2015


“Recidivist” Custody Rule Violators Settle SEC Charges

Investment Advisers, Litigation, Private Equity The SEC announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule... Read more →

by   |   November 19, 2015

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CFTC Report Indicates CFTC Botched Swap Dealer De Minimis Exemption

Banking, Derivatives, Energy CFTC staff issued a preliminary report regarding the swap dealer de minimis exception. Under CFTC rules, market participants who exceed $8 billion in gross notional swap dealing... Read more →

by   |   November 18, 2015